Category: Unsuitable Investments
Were you the victim of former Independent Financial Group, LLC broker Lei Shen (Peter Shen) (CRD# 5769894), who is accused of unsuitable investment recommendations? He has been registered with Ni Advisors in Orange, California, since 2020. Previously, he was registered … Continue reading
Erez Law is currently investigating former First Allied Securities, Inc. broker Mark Gillelen (CRD# 1868626), who is accused of unsuitable investment recommendations. He has been registered with LPL Financial LLC in Redwood City, California, since 2021. Previously, he was registered … Continue reading
There are options for clients of Avantax Investment Services, Inc. broker Saul Rothberger (CRD# 2914820), who lost money due to unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. in Brooklyn, New York, since 2005. Saul Rothberger … Continue reading
Erez Law is currently investigating former Emerson Equity LLC broker Eric Dec (CRD# 2185598) related to investment losses. He was registered with Emerson Equity LLC in San Mateo, California, from 2018 to 2021, and with Sandlapper Securities, LLC in Greenville, … Continue reading
Were you the investment-loss victim of former Summit Brokerage Services, Inc. broker David Stamper (CRD# 2301862)? He has been registered with Cetera Advisor Networks LLC in Cary, North Carolina, since 2019. Previously, he was registered with Summit Financial Group In. … Continue reading
Erez Law is currently investigating Peachcap Securities, Inc. broker John Mateyko (CRD# 3275621), who faces customer complaints related to unsuitable investment recommendations. He has been registered with Peachcap Securities, Inc. and Peachcap Tax & Advisory, LLC in Serenbe, Georgia, since … Continue reading
Former Lincoln Financial Securities Corporation broker Christopher Gordon (CRD# 5714224) is accused of unsuitable investment recommendations related to the high-risk energy sector. He has been registered with Centaurus Financial, Inc. in Annapolis, Maryland, since 2023. Previously, he was registered with … Continue reading
Erez Law is currently investigating former Centaurus Financial, Inc. broker Deborah Anderson (CRD# 1795405) regarding unsuitable investment recommendations. She was registered at LPL Financial LLC in San Diego, California, from 2020 to 2021, when she was terminated regarding, “Customers allege … Continue reading
Western International Securities broker James Mayes (CRD# 2879995) faces a complaint related to unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2023. Previously, he was registered with Western International Securities in … Continue reading
Erez Law is currently investigating former SII Investments, Inc. broker Pamela Espinosa (CRD# 5865661) regarding unsuitable investment recommendations. She has been registered with Kestra Investment Services, LLC in Albuquerque, New Mexico, since 2017. Previously, he was registered with SII Investments, … Continue reading